Finsgate LLP

• Principal Place of Business

  Finsgate LLP

  Parallel House

  32 London Road

  Guildford

  Surrey

  GU1 2AB

  UNITED KINGDOM

  Phone

  +442034325564

  Web

  https://www.finsgate.com

• Complaints Contact

  Finsgate LLP

  Parallel House

  32 London Road

  Guildford

  Surrey

  GU1 2AB

  UNITED KINGDOM

  Phone

  +442034325564

• P2P Lending Advice

  For Professional, Retail (Investment)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• . T&F Tax and Finance SA (Lux)

  IRN XXT01085

  • SMF27 Partner (9 Dec 2019 to 11 Mar 2020)
  • CF4 Partner (16 Nov 2010 to 8 Dec 2019)
• . Vera Consulting Limited

  IRN XXT01086

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (16 Nov 2010 to 8 Dec 2019)
• Andrea Dardi

  IRN AXD48714

  • [FCA CF] Client dealing (8 Jul 2025 to 3 Apr 2026)
  • [FCA CF] Functions requiring qualifications (8 Jul 2025 to 3 Apr 2026)
• Andrew James Buchanan

  IRN AXB00125

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Appointed representative dealing with clients for which they require qualification (since 31 May 2024)
  • [FCA CF] Client dealing (since 31 May 2024)
• Barbara Cavuoto Mazzola

  IRN BXC01555

  • CF10 Compliance Oversight (11 Mar 2014 to 8 Dec 2016)
• Daniel Goggin

  IRN DXG01709

  • [FCA CF] Functions requiring qualifications (15 Aug 2022 to 25 Mar 2025)
  • [FCA CF] Client dealing (15 Aug 2022 to 25 Mar 2025)
• Emmanuel Nsikan Asuquo

  IRN EXA01191

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 4 Sep 2025)
  • [FCA CF] Functions requiring qualifications (since 4 Sep 2025)
• Enrico Giovanni Griffini

  IRN EGG01015

  • CF30 Customer (7 Oct 2015 to 8 Dec 2015)
  • CF3 Chief Executive (AR) (7 Oct 2015 to 8 Dec 2015)
  • CF4 Partner (AR) (7 Oct 2015 to 8 Dec 2015)
• Franz Esercizio

  IRN FXE01140

  • SMF16 Compliance Oversight (9 Dec 2019 to 21 Jul 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Jul 2022)
  • CF11 Money Laundering Reporting (2 Aug 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Aug 2017 to 8 Dec 2019)
• Gary Nalson

  IRN GXN07518

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 8 Mar 2024)
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2024)

• Surrey Hills Wealth Management Limited

  FRN 1006436 · Appointed 21 Dec 2023

• Per4m Asset Management (PAM) (no longer appointed)

  FRN 716469 · Appointed 11 Sep 2015 · Until 20 Apr 2016

No changes recorded yet.